Trading

If you're an institutional investment manager with discretion over at least $100 million in such assets, you know you have 45 days after each quarter ...

Click here to open an Excel file that a peer shares. It is a worksheet designed to track key information on trade errors.  

This is a cherry-picking case against a firm, which settled with the SEC.

This hedge fund manager was charged with cherry-picking. The SEC noted the firm lacks relevant compliance P&Ps or a code of ethics that would have ...

It's as constant as the flow of the Mississippi: the stress to chase better returns. The pressure has only hardened in the yo-yo market of ...

The SEC has charged an RIA and its CCO with cherry-picking trades that benefited him at the expense of his clients. The alleged scheme may ...

Proportional distribution of similar securities - a pro-rata approach - forms the preferred method your peers use to ensure clients aren't disadvantaged in a block ...

Knight Capital hasn't revealed exactly what happened Aug. 1 when "a technology issue" sent "numerous erroneous orders" to the New York Stock Exchange, sapping market ...

Making consistent gains in a market with as much volatility as seen in recent years challenges even the smartest Wall Street wizards. Richard Schmitt believes ...

Click here to open an Excel file that displays the SEC's preferred method for laying out a blotter. You'll find three types: 1. Equities 2. ...